Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that New Jersey-based First Standard Financial Company broker Levert Caldwell, also known as Lee Caldwell, has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caldwell (CRD# 4302934).
Levert Caldwell has spent 14 years in the securities industry and has been registered with First Standard Financial Company in Red Bank, New Jersey since 2015. Previous registrations include National Securities Corporation in Red Bank, New Jersey (2012-2015); Brookstone Securities in Staten Island, New York (2010-2012); Newbridge Securities Corporation in Red Bank, New Jersey (2007-2010); Morgan Stanley DW in Purchase, New York (2005); LH Ross & Company in Boca Raton, Florida (2004); First Montauk Securities Corporation in Red Bank, New Jersey (2003-2004); and TD Waterhouse Investor Services in Omaha, Nebraska (2001-2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 10, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 24, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on May 19, 2005; and Series 7 (General Securities Representative Examination), which he obtained on April 27, 2001. He is a registered broker with 32 US states and territories.
According to his BrokerCheck report, he has received three customer complaints.
In 2016 a customer alleged Levert Caldwell, while employed at National Securities Corporation and First Standard Financial Company, churned investments, made unsuitable investment recommendations, and breached his fiduciary duty. The complaint settled in January 2018 for $122,000.
In 2014 a customer alleged Levert Caldwell, while employed at National Securities Corporation, breached his fiduciary duty and recommended unsuitable investments. The complaint settled for $325,000.
In 2015 a customer alleged Levert Caldwell, while employed at National Securities Corporation, made unsuitable investment recommendations. The complaint settled in 2016 for $250,000.
If you or someone you know has lost money investing with Levert Caldwell, also known as Lee Caldwell, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.